Financial Institution Regulation II
This course will examine the regulatory regime applicable to securities broker-dealers and futures commission merchants. Primary focus will be on the substantive content of the Securities Exchange Act of 1934 and the Commodity Exchange Act of 1970, and the regulations promulgated thereunder. Secondarily, the course addresses the self-regulatory agencies responsible for overseeing the securities and commodities trading system.
Prerequisite: MJ Financial Institute Regulation
Prerequisite: MJ Financial Institute Regulation